Types of Audit

Initial Certification

Pre-assessment

The pre-assessment is an optional service that is offered for companies that wish to get the highest possible understanding of their readiness prior to undergoing a certification assessment.
The findings of the pre-assessment audit do not count towards the certification audit. A full report is delivered after the completion of the audit.

Certification Audit Requirement

  • The initial certification audit has two parts stage 1 and stage 2.
  • The surveillance audits are normally conducted annually or semi-annually depending on the client’s needs.
  • The certification contract is a three-year agreement.
    • Year one – certification audit
    • Year two – surveillance 1
    • Year three – surveillance 2
    • Year four – re-assessment

Certification Process

  • Stage 1 Audit

The general objectives of stage 1 are to (this may vary depending on the standard:

  • 1 review the client’s management system documented information
  • 2 evaluate the client’s site-specific conditions and to undertake discussions with the client’s personnel to determine the preparedness for stage 2;
  • 3 review the client’s status and understanding regarding requirements of the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system.
  • 4 obtain necessary information regarding the scope of the management system, including: the client’s site(s); processes and equipment used; levels of controls established and applicable statutory and regulatory requirements.
  • 5 review the allocation of resources for stage 2 and agree the details of stage 2 with the client.
  • 6 provide a focus for planning stage 2 by gaining a sufficient understanding of the client’s management system and site operations in the context of the management system standard or other normative document.
  • 7 evaluate if the internal audits and management reviews are being planned and performed, and if the level of implementation of the management system substantiates that the client is ready for stage 2.

  • Stage 2 Audit

The purpose of stage 2 is to evaluate the implementation, including effectiveness, of the client’s management system. The stage 2 takes place at the site(s) of the client. It will include the auditing of at least the following:

  • 1 information and evidence about conformity to all requirements of the applicable management system standard or other normative documents.
  • 2 performance monitoring, measuring, reporting, and reviewing against key performance objectives and targets
  • 3 the client’s management system ability and its performance regarding meeting of applicable statutory, regulatory, and contractual requirements.
  • 4 operational control of the client’s processes.
  • 5 internal auditing and management review.
  • 6 management responsibility for the client’s policies.

  • Certification decision

Upon the completion of the audit the auditor will provide their recommendation for certification to MSECB Certification Board for review and approval. Once this process is completed a certificate will be issued for the period of three years.

Surveillance Audits

Surveillance audits are required to be conducted annually. They are on-site audits, but are not necessarily full system audits, and needs to be planned. The auditor confirms client’s management system continues to fulfil requirements
Each surveillance for the relevant management system standard shall include:

  • 1 internal audits and management review.
  • 2 a review of actions taken on nonconformities identified during the previous audit.
  • 3 complaints handling.
  • 4 effectiveness of the management system with regard to achieving the certified client’s objectives
  • 5 progress of planned activities aimed at continual improvement.
  • 6 continuing operational control.
  • 7 review of any changes.
  • 8 use of marks and/or any other reference to certification.

Recertification audit

The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification. A recertification audit will be planned and conducted to evaluate the continued fulfilment of all the requirements of the relevant management system standard or other normative document. This will be planned and conducted in due time to enable for timely renewal before the certificate expiry date.

Multi-site

Organizations are growing and expanding. If your organization has more than one location with a single management system, INTIQ can assist on determining if you qualify for a multisite audit. Requirements may vary depending on the certification scheme. Below find basic requirements:
The organization shall have a single management system.

  • The organization shall identify its central function. The central function is part of the organization and shall not be subcontracted to an external organization.
  • The central function shall have organizational authority to define, establish and maintain the single management system.
  • The organization’s single management system shall be subject to a centralized management review.
  • All sites shall be subject to the organization’s internal audit programme.
  • The central function shall be responsible for ensuring that data is collected and analyzed from all sites and shall be able to demonstrate its authority and ability to initiate organizational change as required in regard, but not limited, to:
    • system documentation and system changes;
    • management review;
    • complaints;
    • evaluation of corrective actions;
    • internal audit planning and evaluation of the results; and
    • statutory and regulatory requirements pertaining to the applicable standard(s).

MULTIPLE STANDARDS Integrated Management System / Combine Audits

Organizations in every industry face a variety of challenges such as having to comply to multiple requirements. Integrating your requirements can provide a framework for an overall management system which integrates the common aspects of individual systems to avoid duplication and to improve business effectiveness and efficiency.

Many organizations have to meet more than one management system standard, regulatory requirements, customer requirements and industry requirements. We have auditors in multiple disciplines that can provide you with the support you need whether is a combine and/or integrated audit.

Integrated Management System: A single management system managing multiple aspects of organizational performance to meet the requirements of more than one management standard, at a given level of integration.

A management system may range from a combined system adding separate management systems for each set of audit criteria/standard, to an Integrated Management System, sharing in single system documentation, management system elements, and responsibilities.

Remote Audits

Remote audit techniques are available to supplement the traditional on-site audit activities when appropriate. If there are any unforeseeable circumstances such as COVID-19 which does not allow the audit to be conducted on-site. MSECB has established the necessary policy for conducting the audit remotely in a secure manner.

This policy provides guidance on how MSECB plans, manages, and facilitates remote audits, and is consistent with IAF MD 4:2018, IAF ID 3:2011 and IAF ID 12:2015.

Remote audit can be used at MSECB discretion, but the accreditation body must approve the process and receive proper justification. MSECB and the client are aware of the risks and opportunities of the information and communication technologies used and the impacts that they may have on the validity and objectivity of the information gathered. For more information, please contact us at [email protected]